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PERG 8.11 Types of exemption under the Financial Promotion Order
As Published: 2005
PERG 8.11 Types of exemption under the Financial Promotion Order
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SUP 10A.12 Procedures relating to FCA-approved persons
As Published: 2013
SUP 10A.12 Procedures relating to FCA-approved persons
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BIPRU 13.8 Securities financing transactions
As Published: 2006
BIPRU 13.8 Securities financing transactions
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SUP 17.4 Information in transaction reports
As Published: 2007
SUP 17.4 Information in transaction reports
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FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
As Published: 2012
FINMAR 2.6 Procedures relating to the market maker exemption and the authorised primary dealer exemption
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SUP 1A.3 The FCA's approach to supervision
As Published: 2013
SUP 1A.3 The FCA's approach to supervision
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COBS 18.5 Operators of collective investment schemes
As Published: 2007
COBS 18.5 Operators of collective investment schemes
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PERG 2.5 Investments and activities: general
As Published: 2006
PERG 2.5 Investments and activities: general
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CASS 9.3 Prime brokerage agreement disclosure annex
As Published: 2010
CASS 9.3 Prime brokerage agreement disclosure annex
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SYSC 20.2 Reverse stress testing requirements
As Published: 2010
SYSC 20.2 Reverse stress testing requirements
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DEPP 6A.4 The interaction between the power to impose suspensions or restrictions and the power to impose penalties or public censures
As Published: 2013
DEPP 6A.4 The interaction between the power to impose suspensions or restrictions and the power to impose penalties or public censures
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